2023 RESOLUTION NO. 2c 3
A RESOLUTION TO APPROVE AND AUTHORIZE THE ACCEPTANCE
OF FEDERAL FUNDING OF$10,953,244.00 UNDER THE CITY'S
AWARDED TIGER IV GRANT AGREEMENT FOR DESIGN AND
CONSTRUCTION OF RAIL, ROAD AND UTILITY IMPROVEMENTS
TO THE INTERNATIONAL RAIL PORT LOGISTICS PARK AND FOR
OTHER PURPOSES.
WHEREAS, the City of West Memphis, Arkansas,has been awarded a grant of
$10,953,244.00 pursuant to the Transportation Investment Generating Economic Recovery, or
TIGER Discretionary Grant program, for the design and construction of rail, road and utility
improvements to the International Rail Port Logistics Park; and
WHEREAS, the terms and conditions of the TIGER Grant are set out substantially in the
grant agreement attached hereto and incorporated herein by reference, subject to such minor
amendments or modifications as may be necessary or required and subject to the final approval of
the Mayor of West Memphis; and
WHEREAS, the City Council of the City of West Memphis, Arkansas, finds that
approval and acceptance of the TIGER IV Grant Agreement is in the best interests of the City of
West Memphis, Arkansas;
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF WEST MEMPHIS, ARKANSAS, THAT the $10,953,244.00 grant agreement
awarded to the City of West Memphis, Arkansas, in substantially the form as attached hereto and
incorporated herein by reference, subject to such minor amendments or modifications as may be
necessary or required, is hereby approved and accepted, subject to the final approval of the
Mayor of West Memphis. The Mayor is hereby authorized, subject to his approval of the final
agreement, to execute the agreement on behalf of the City of West Memphis, Arkansas, and to
take any and all other actions as may be necessary or required to effectuate the acceptance of the
TIGER IV Grant Agreement.
PASSED AND APPROVED this 18 day of April, 2013.
/ 2At.-ia
WILLIAM H. JO ON, MAYOR
ATTEST:
P I' PARA, CITY CLERK
SPONSORED BY:
RECEI'k SE2f fi
city cr®
Daternme
By
U.S. Department
of Transportation
Federal Railroad Grant/Cooperative Agreement
Administration
1. RECIPIENT NAME AND ADDRESS
City of West Memphis,Arkansas 2. AGREEMENT NUMBER: FR-T11-0013-13-01-00 3. AMENDMENT NO. 0
205 S Redding St
West Memphis,AR 72301-4207 4. PROJECT PERFORMANCE PERIOD: FROM 03/01/2013 TO 03/31/2016
5. FEDERAL FUNDING PERIOD: FROM 03/01/2013 TO 03/31/2016
IA. IRS/VENDOR NO. 716012481
1B. DUNS NO. 030431480 6. ACTION New
7. CFDA#: 20.933 9. TOTAL OF PREVIOUS AGREEMENT AND ALL AMENDMENTS 0.00
8. PROJECT TITLE
International Rail Port Logistics Park 10. AMOUNT OF THIS AGREEMENT OR AMENDMENT 10,953,244.00
11. TOTAL AGREEMENT AMOUNT 10,953,244.00
12. INCORPORATED ATTACHMENTS
THIS AGREEMENT INCLUDES THE FOLLOWING ATTACHMENTS,INCORPORATED HEREIN AND MADE A PART HEREOF.
Standard Terms and Conditions,Attachment 1;Statement of Work,Attachment 2
Approved Project Budget,Attachment 3;Performance Measurement Table,Attachment 4
Assurances and Certifications,Attachment 5
13. STATUTORY AUTHORITY FOR GRANT/COOPERATIVE AGREEMENT
Consolidated and Further Continuing Appropriations Act,2012(Public Law 112-55(November 18,2011))
14. REMARKS-
GRANTEE ACCEPTANCE AGENCY APPROVAL
15. NAME AND TITLE OF AUTHORIZED GRANTEE OFFICIAL 17. NAME AND TITLE OF AUTHORIZED FRA OFFICIAL
16. SIGNATURE OF AUTHORIZED GRANTEE OFFICIAL 16A. DATE 18. SIGNATURE OF AUTHORIZED FRA OFFICIAL 18A. DATE
AGENCY USE ONLY
19. OBJECT CLASS CODE: 41010 20. ORGANIZATION CODE: 9013000000
21. ACCOUNTING CLASSIFICATION CODES
DOCUMENT NUMBER FUND BY BPAC AMOUNT
FR-TII-0013-13-01-00 2712130143 2013 0143T429Y0 10,953,244.00
Page 1
AWARD ATTACHMENTS
City of West Memphis, Arkansas FR-TI I-0013-13-01-00
1. Standard Terms and Conditions,Attachment 1
2. Statement of Work, Attachment 2
3.Approved Project Budget, Attachment 3
4. Performance Measurement Table, Attachment 4
5.Assurances and Certifications, Attachment 5
ATTACHMENT 1
GRANT AGREEMENT UNDER THE
CONSOLIDATED AND FURTHER CONTINUING APPROPRIATIONS
ACT, 2012 (PUB. L. 112-055, NOV. 18, 2011)), FOR THE NATIONAL
INFRASTRUCTURE INVESTMENTS DISCRETIONARY GRANT
PROGRAM (FY 2012 TIGER DISCRETIONARY GRANTS)
This agreement (the "Agreement" or "Grant Agreement") reflects the selection of the recipient
identified in section 1 of the Grant/Cooperative Agreement (page 1) ("Grantee" or "Recipient")
as a Recipient of a grant awarded under the provisions of the Consolidated and Further
Continuing Appropriations Act, 2012 (Pub. L. 112-055, Nov. 18, 2011)), regarding National
Infrastructure Investments (the "Act"). The grant program under the Act is referred to as "FY
2012 TIGER Discretionary Grants" or"TIGER Discretionary Grants."
SECTION 1. LEGISLATIVE AUTHORITY
a) The U.S. Department of Transportation ("DOT"or"Government") is authorized to award
$500 million in the TIGER Discretionary Grants pursuant to Consolidated and Further
Continuing Appropriations Act, 2012 (Pub. L. 112-055, Nov. 18, 2011) (the "Act"). This
appropriation is similar,but not identical to the appropriation for the Transportation Investment
Generating Economic Recovery, or "TIGER Discretionary Grant,"program authorized and
implemented pursuant to the American Recovery and Reinvestment Act of 2009 (the "Recovery
Act"), the TIGER II Discretionary Grants pursuant to Title I (Department of Transportation) of
Division A of the Consolidated Appropriations Act, 2010 and the TIGER Discretionary Grants
pursuant to Title XII (Transportation, Housing and Urban Development, and Related Agencies)
of Division B of the Department of Defense and Full-Year Continuing Appropriations Act, 2011.
Because of the similarity in program structure and objectives, DOT is referring to the grants for
National infrastructure Investments under the Act as "TIGER Discretionary Grants."
b) The grant awards made under the TIGER Discretionary Grant program are in full
compliance with the Act, the Notice of Funding Availability, Request for Comments (77 FR
4863, January 31, 2012).
c) Funds for the TIGER Discretionary Grant program are being awarded on a competitive
basis for projects that will have a significant impact on the Nation, a metropolitan area or a
region. Additionally, the awards ensure an equitable geographic distribution of funds, an
appropriate balance in addressing the needs of urban and rural areas, and the investment in a
variety of transportation modes.
d) The Act specifies that not less than $120 million of the funds provided for TIGER
Discretionary Grants be used for projects located in rural areas.
SECTION 2. GENERAL TERMS AND CONDITIONS
2
ATTACHMENT 1
a) This Agreement is entered into between DOT, acting through the Federal Railroad
Administration("FRA"), and the Grantee. The Agreement will be administered by FRA(also
referred to herein as the"Government").
b) The Grantee shall be responsible for ensuring that the Project is financed, constructed,
operated and maintained in accordance with this Agreement and in compliance with all
applicable Federal laws, regulations and policies.
c) The maximum obligation of the Government payable under this Agreement shall be as
specified in section 4(d) of this Attachment 1 of the Agreement, subject to all the terms and
conditions in this Agreement and of all other Federal grant awards funding the Project. FY 2012
TIGER Discretionary Grant funds for this Project will be authorized for expenditure by the
Grantee only when this Agreement is fully executed by both parties.
d) Payment of the Grant will be made pursuant to and in accordance with 49 C.F.R. Parts 18
and 19 (to the extent that a non-governmental grantee receives grant funding), and the provisions
of such regulations and procedures as the Government may prescribe. Final determination of the
Grant's expenditures may be based upon a fmal review of the total amount of agreed Project
costs and settlement will be made for adjustments to the Grant amount in accordance with
applicable government-wide cost principles under 2 C.F.R. 225 (State and Local Governments);
2 C.F.R. 215 (Higher Education Institutions); and 2 C.F.R. 230 (Non-Profit Organizations). If
there are any differences between the requirements of 49 C.F.R. Parts 18 and 19 and Title 49 of
the United States Code and Code of Federal Regulations, the Title 49 requirements will take
precedence.
e) The Grantee agrees to notify the Government within 14 calendar days of any change in
circumstances or commitments that adversely affect the Grantee's plan to complete the Project as
is described in Attachments 2 and 3 to this Agreement. In its notification, the Grantee shall
advise the Government of the actions it has taken or plans to take to ensure completion of the
Project and shall reaffirm its commitment to the Government as set forth in this Agreement. The
Government is not responsible for any funding shortfalls regarding the non-TIGER Discretionary
Grant amount share. The FY 2012 TIGER Discretionary Grant Amount will remain unchanged.
(See Section 13 of this Attachment 1 to the Agreement regarding termination).
f) The Grantee agrees to carry out and complete the Project without undue delays and in
accordance with the terms hereof, including the Estimated Project Schedule set out in
Attachment 2, and such regulations and procedures as the Government may prescribe.
g) The Grantee has submitted a request for Federal assistance, hereinafter referred to as the
"Technical Application" or"Application,"hereby incorporated by reference into this Agreement,
and the Government is relying upon the Grantee's assurances, certifications, and other
representations made in the Technical Application, or any other related documents submitted to
the Government; and, in its submissions,the Grantee has demonstrated justification for the
Project, and has demonstrated the financial and technical feasibility of the Project, including the
ability to start construction quickly upon receipt of the Grant; to expend Grant funds once
construction starts; and to receive all necessary environmental, state and local planning, and
3
ATTACHMENT 1
legislative approvals necessary for the Project to proceed in accordance with the Project
Schedule. This Grant is made to the Grantee for the Project, including the Project's scope,
assurance/confirmation that all required funding has been obtained and committed, and the
timeline for completion of the Project.
h) The Government has determined that the Project is an Eligible Project as it provides a
highway or bridge project, public transportation project, passenger or freight rail transportation
project, or a port infrastructure project, or other such eligible project as authorized, and that the
Project will have a significant impact on the Nation, a metropolitan area, or a region. The
Government has determined that Grantee should receive the award of a Grant based on a review
of the Project's Technical Application, as it meets the requirements specified in the Act and the
January 31, 2012,Federal Register Notice, "Notice of Funding Availability for the Department
of Transportation's National Infrastructure Investments Under the Full-Year Continuing
Appropriations, 2012; and Request for Comments" (Available at
http://www.dot.gov/tiger/docsify12_tiger_nofa.pdf).
i) The Grantee will be monitored periodically by the Government, both programmatically
and financially,to ensure that the Project goals, objectives,performance requirements, timelines,
milestone completion, budgets, and other related program criteria are being met. Monitoring will
be accomplished through a combination of office-based reviews and onsite monitoring visits.
Monitoring will involve the review and analysis of the financial, programmatic, performance and
administrative issues relative to each program and will identify areas where technical assistance
and other support may be needed. The Grantee is responsible for monitoring award activities, to
include sub-awards, to provide reasonable assurance that the Federal award is administered in
compliance with applicable requirements. Responsibilities include the accounting of receipts
and expenditures, cash management, maintaining adequate financial records, and refunding
disallowed expenditures.
j) The Grantee agrees to take all steps, including initiating litigation, if necessary, to recover
Federal funds if the Government determines, after consultation with the Grantee, that such funds
have been spent fraudulently, wastefully, or in violation of Federal laws, or misused in any
manner in undertaking the Project. For the purposes of this Agreement, the term"Federal funds"
means funds however used or disbursed by the Grantee that were originally paid pursuant to the
Agreement.
k) The Grantee agrees to retain all documents relevant to the Grant award for a period of
three years from completion of the Project and receipt of final reimbursement from the
Government. The Grantee agrees to furnish the Government, upon request, all documents and
records pertaining to the determination of the Grant amount or to any settlement, litigation,
negotiation, or other efforts taken to recover such funds. All settlements or other final positions
of the Grantee, in court or otherwise, involving the recovery of such Grant amount shall be
approved in advance by the Government.
I) The Government is subject to the Freedom of Information Act (FOIA). The Grantee
should therefore be aware that all applications and related materials submitted by the Grantee
4
ATTACHMENT 1
related to this Agreement will become agency records and thus are subject to FOIA and to public
release through individual FOIA requests.
m) The Government shall not be responsible or liable for any damage to property or any
injury to persons that may arise from, or be incident to,performance or compliance with this
Agreement.
n) The Grantee agrees to: 1)provide maximum practicable opportunities for small
businesses, including veteran-owned small businesses and service disabled veteran-owned small
businesses, and 2) implement best practices, consistent with our nation's civil rights and equal
opportunity laws, for ensuring that all individuals—regardless of race, gender, age, disability,
and national origin—have an opportunity to benefit from activities funded through this
Agreement. An example of a best practice under 2) above would be to incorporate key elements
of the Department's Disadvantage Business Enterprise (DBE)program(see 49 C.F.R. Part 26) in
contracts under this Agreement. This practice would involve setting a DBE contract goal on
contracts funded under this Agreement that have subcontracting possibilities. The goal would
reflect the amount of DBE participation on the contract that the Grantee would expect to obtain
absent the effects of discrimination and consistent with the availability of certified DBE firms to
perform work under the contract. When a DBE contract goal has been established by a Grantee,
the contract would be awarded only to a bidder/offer that has met or made (or in the case of a
design/build project, is committed to meeting or making) documented, good faith efforts to reach
the goal. Good faith efforts are defined as efforts to achieve a DBE goal or other requirement of
this Agreement which, by their scope, intensity, and appropriateness to the objective can
reasonably be expected to achieve the goal or other requirement. The Grantee must provide FRA
a plan for incorporating the above best practice into its implementation of the Project within 30
days following execution of this Agreement. If the Grantee is not able to substantially
incorporate Part 26 elements in accordance with the above-described best practice, the Grantee
agrees to provide the FRA with a written explanation and an alternative program for ensuring
that contractors owned and controlled by socially and economically disadvantaged individuals
are provided the opportunity to benefit from activities funded through this Agreement.
o) The Government encourages the Grantee and the State Department of Transportation
acting as the limited agent on behalf of the Grantee (if applicable),to adopt and enforce
workplace safety policies to decrease crashes caused by distracted drivers including policies that
bar text messaging while driving company-owned or—rented vehicles, or government-owned,
leased, or rented vehicles or privately-owned vehicles when on official government business or
when performing any work for or on behalf of the Government. See Executive Order 13513
"Federal Leadership on Reducing Text Messaging While Driving,"Oct. 1, 2009 (available
at http://edocket.access.gpo.gov'2009/E9-24203.htm ) and DOT Order 3902.10 "Text
Messaging While Driving,"Dec. 30, 2009, as implemented by Financial Assistance Policy Letter
(No. FAP-2010-01, Feb. 2, 2010, available
at http /www.dot.gov/ost/m60/Financial Assistance Mana<zement Honme;FAPL 2010-01.pdf).
This includes, but is not limited to,the Grantee and the State Department of Transportation
acting as the limited agent on behalf of the Grantee:
5
ATTACHMENT 1
1) considering new rules and programs or re-evaluating existing programs to prohibit
text messaging while driving;
2) conducting education, awareness, and other outreach for employees about the safety
risks associated with texting while driving; and
3) encouraging voluntary compliance with the agency's text messaging policy while off
duty.
The Grantee is encouraged to insert the substance of this clause in all assistance awards.
p) The Grantee shall comply with the Buy America provisions set forth in 49 U.S.C.
24405(a)for the Project with respect to the use of steel, iron, and manufactured goods produced
in the United States, subject to the conditions therein set forth.
q) The Grantee agrees that it will comply with the provisions of the Davis-Bacon Act, 40
U.S.C. § 3141, et seq., as is specified in the Act.
SECTION 3. APPLICABLE FEDERAL LAWS AND REGULATIONS
By entering into the Agreement the Grantee assures and certifies, with respect to this
grant, that it will comply with all applicable Federal laws, regulations, executive orders, policies,
guidelines, and requirements as they relate to the application, acceptance, and use of Federal
funds for this Project. Performance under this Agreement shall be governed by and in
compliance with the following requirements, as applicable to the type of organization of the
Recipient and any applicable sub-recipients. The applicable provisions to the Agreement include
but are not limited to the following:
General Federal Legislation
a. Davis-Bacon Act-40 U.S.C. 3141, et seq.
b. Federal Fair Labor Standards Act- 29 U.S.C. 201, et seq.
c. Hatch Act- 5 U.S.C. 1501, et seq.
d. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 Title
-42 U.S.C. 4601, et seq.
e. National Historic Preservation Act of 1966 - Section 106 - 16 U.S.C. 470f
f. Archeological and Historic Preservation Act of 1974 - 16 U.S.C. 469a through 469c.
g. Native American Graves Protection and Repatriation Act- 25 U.S.C. 3001, et seq.
h. Clean Air Act, P.L. 90-148, as amended
i. Section 404 of the Clean Water Act, as amended 33 U.S.C. 1251, et seq.
j. Section 7 of the Endangered Species Act, P.L. 93-205, as amended.
k. Coastal Zone Management Act, P.L. 92-583, as amended.
1. Flood Disaster Protection Act of 1973 - Section 102(a) -42 U.S.C. 4012a
m. Age Discrimination Act of 1975 -42 U.S.C. 6101, et seq.
n. American Indian Religious Freedom Act, P.L. 95-341, as amended
o. Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. 1101, et seq.
p. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970, P.L. 91-616, as amended - 42 U.S.C. 4541, et seq.
q. Sections 523 and 527 of the Public Health Service Act of 1912, as amended, 42U.S.C.
6
ATTACHMENT 1
290dd through 290dd-2
r. Architectural Barriers Act of 1968 - 42 U.S.C. 4151, et seq.
s. Power Plant and Industrial Fuel Use Act of 1978, P.L. 100-42 - Section 403 -42
U.S.C.8373
t. Contract Work Hours and Safety Standards Act- 40 U.S.C. 3701, et seq.
u. Copeland Anti-kickback Act, as amended- 18 U.S.C. 874 and 40 U.S.C. 3145
v. National Environmental Policy Act of 1969 - 42 U.S.C. 4321, et seq.
w. Wild and Scenic Rivers Act, P.L. 90-542, as amended— 16 U.S.C. 1271, et seq.
x. Federal Water Pollution Control Act, as amended - 33 U.S.C. 1251-1376
y. Single Audit Act of 1984 - 31 U.S.C. 7501, et seq.
z. Americans with Disabilities Act of 1990 -42 U.S.C. 12101, et seq.
aa. Title IX of the Education Amendments of 1972, as amended- 20 U.S.C. 1681 through 1683,
and 1685 through 1687
bb. Section 504 of the Rehabilitation Act of 1973, as amended - 29 U.S.C. 794
cc. Title VI of the Civil Rights Act of 1964 - 42 U.S.C. 2000d et seq.
dd. Title IX of the Federal Property and Administrative Services Act of 1949 - 40 U.S.C.
541, et seq.
ee. Limitation on Use of Appropriated Funds to Influence Certain Federal Contracting and
Financial Transactions—31 U.S.C. 1352
ff. Freedom of Information Act - 5 U.S.C. 552, as amended
gg. Magnuson-Stevens Fishery Conservation and Management Act— 16 U.S.C. 1855
hh. Farmlands Protection Policy Act of 1981 —7 U.S.C. 4201
ii. Noise Control Act of 1972—42 U.S.C. 4901, et seq.
jj. Fish and Wildlife Coordination Act of 1956— 16 U.S.C. 661
kk. Section 9 of the Rivers and Harbors Act and General Bridge Act of 1946 - 33 U.S.C. 401
11. Section 4(f) of the Department of Transportation Act of 1966, 49 U.S.C. 303 and 23
U.S.C. 138
mm.Resource Conservation and Recovery Act of 1976 (RCRA), as amended--
42 U.S.C. 6901, et seq.
nn. Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA), as amended--42 U.S.C. 9601-9657
oo. Safe Drinking Water Act-- 42 U.S.C. 300E-300J-6
pp. Wilderness Act-- 16 U.S.C. 1131-1136
qq. Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act
of 1976 --42 U.S.C. 6901, et seq.
rr. Migratory Bird Treaty Act 16 U.S.C. 760c-760g
ss. The Federal Funding Transparency and Accountability Act of 2006, as amended(Pub.
L. 109-282, as amended by section 6202 of Public Law 110-252)
tt. Cargo Preference Act of 1954—46 U.S.C. 55305
uu. Buy America provisions --49 U.S.C. 24405(a)
Executive Orders
a. Executive Order 11246 - Equal Employment Opportunity
b. Executive Order 11990 - Protection of Wetlands
c. Executive Order 11988—Floodplain Management
d. Executive Order 12372 - Intergovernmental Review of Federal Programs
7
ATTACHMENT 1
e. Executive Order 12549—Debarment and Suspension
f. Executive Order 12898—Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations
g. Executive Order 13166—Improving Access to Services for Persons With Limited
English Proficiency
General Federal Regulations
a. Interim Final Guidance on Buy American—74 FR 18449 (April 23, 2009), 2 C.F.R. Part
176
b. Uniform Administrative Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations—2 C.F.R. Part 215
c. Cost Principles for State and Local Governments—2 C.F.R. Part 225
d. Non-procurement Suspension and Debarment—2 C.F.R. Part 1200
e. Investigative and Enforcement Procedures - 14 C.F.R. Part 13
f. Procedures for predetermination of wage rates - 29 C.F.R. Part 1
g. Contractors and subcontractors on public building or public work financed in whole or
part by loans or grants from the United States - 29 C.F.R. Part 3
h. Labor standards provisions applicable to contracts governing federally financed and
assisted construction(also labor standards provisions applicable to non-construction
contracts subject to the Contract Work Hours and Safety Standards Act) - 29 C.F.R. Part
5
i. Office of Federal Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor(Federal and federally assisted contracting requirements) - 41
C.F.R. Parts 60, et seq.
j. Contractor Qualifications -48 C.F.R. Part 9
k. Uniform administrative requirements for grants and cooperative agreements to state and
local governments -49 C.F.R. Part 18
1. New Restrictions on Lobbying—49 C.F.R. Part 20
m. Nondiscrimination in Federally Assisted Programs of the Department of Transportation—
Effectuation of Title VI of the Civil Rights Act of 1964—49 C.F.R. Part 21
n. Uniform relocation assistance and real property acquisition for Federal and Federally
assisted programs -49 C.F.R. Part 24
o. Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving
Federal Financial Assistance-49 C.F.R. Part 25
p. Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or
Benefiting from Federal Financial Assistance -49 C.F.R. Part 27
q. Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities
Conducted by the Department of Transportation—49 C.F.R. Part 28
r. Denial of public works contracts to suppliers of goods and services of countries that deny
procurement market access to U.S. contractors -49 C.F.R. Part 30
s. Governmentwide Requirements for Drug-Free Workplace (Financial Assistance)—49
C.F.R. Part 32
t. DOT's implementing ADA regulations, including the ADA Accessibility Guidelines in
Part 37, Appendix A -49 C.F.R. Parts 37 and 38
u. Procedures for Transportation Workplace Drug and Alcohol Testing Programs—49
C.F.R. Part 40
8
ATTACHMENT 1
v. Participation by Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs–49 C.F.R. Part 26
w. Preference for Privately Owned Commercial U.S. Flag Vessels–46 C.F.R. Part 381.
Office of Management and Budget Circulars
a. A-87–Cost Principles Applicable to Grants and Contracts with State and Local
Governments
b. A-102–Grants and Agreements with State and Local Governments
c. A-133 -Audits of States, Local Governments, and Non-Profit Organizations
d. Any other applicable OMB Circular based upon the specific TIGER Grant Recipient
Specific assurances required to be included in grant agreements by any of the above laws,
regulations, or circulars are hereby incorporated by reference into the Agreement.
SECTION 4. GRANTEE AND PROJECT INFORMATION
a) Grantee: This Grant is made to the Grantee for the project as described in the Grantee's
Technical Application (the"Project") and the negotiated provisions on the Project's material
terms and conditions, including the Project's scope, assurance/confirmation that all required
funding has been obtained and committed, and the timeline for completion of the Project. The
Grantee agrees to abide and comply with all terms and conditions of this Agreement and to abide
by, and comply with, all requirements as specified in all exhibits and attachments, which are
considered as integral parts of this Agreement. In the case of any inconsistency or conflict
between the specific provisions of this Agreement, the exhibits and the attachments, such
inconsistency or conflict shall be resolved as follows: first, by giving preference to the specific
provisions and terms of this Agreement; second, by giving preference to the provisions and terms
of Attachment 1; and third, by giving preference to the provisions and terms of other
attachments.
The Dun and Bradstreet Data Universal Numbering System (DUNS)No. of the Grantee is
identified in section 1B on the Grant/Cooperative Agreement(page 1)
Name of any First-Tier Sub-Grantees or Sub-Recipients (if applicable—to be reported if/when
identified. If not applicable, note as N/A) N/A .)
DUNS No. of First-Tier Sub-Grantees or Sub-Recipients (if applicable—to be reported if/when
identified. If not applicable, note as N/A) N/A .)
b) Notices:
Notices required by this Agreement should be addressed as follows:
As to the FRA:
9
ATTACHMENT 1
John Winkle
Transportation Industry Analyst
Federal Railroad Administration
1200 New Jersey Ave SE, Washington, DC 20590
202-493-6067
John.Winkle@DOT.Gov
As to the Grantee:
Ward Wimbish
Director of Economic Development
City of West Memphis
205 S. Redding St., West Memphis, AR 72303
870-732-7500
wwimbish @westmemphis.corn
Notwithstanding section 13(c) of this Attachment, the Grantee may update contact
information listed in this paragraph by written notice (formal letter)to the Government
without the need for a formal amendment to this Agreement.
c) Project Description and Milestones
1) Project Description: The Grantee shall furnish all personnel, facilities, and
equipment, and other materials and services (except as otherwise specified herein)
necessary to perform the approved Project, as set forth in the Statement of Work and
the Estimated Project Schedule (Attachment 2), the Approved Project Budget
(Attachment 3), and in accordance with the representations, certifications, and
assurances set forth in the Grantee's Application, incorporated herein and made a part
hereof. In the event of a conflict, in describing the Project,between the Grantee's
Application and the Statement of Work, the Statement of Work will govern.
2) Term: Unless sooner terminated in accordance with its terms, this Agreement shall
be valid for the time period indicated on the Grant/Cooperative Agreement(page 1),
sections 4 and 5. This time period includes the period for both completion of the
Project, and completion and submission of any reports or deliverables required by this
Agreement.
3) State and Local Planning:
Planning Program Date: N/A
10
ATTACHMENT 1
4) Environmental Approvals and Processes:
Environmental Documentation Type, Titles, and Date: Environmental Assessment
(not yet started)
Environmental Decision Type and Date:
Name of Agency and Office Approving Each Environmental Decision Document:
Federal Railroad Administration: Office of Railroad Policy and Development .
Planned Completion of NEPA: Au st 2013
5) Project Schedule:
Planned or Actual Contract Award Date(if applicable):
Planned or Actual Construction Start Date: January 2014
Planned.Project Completion Date: December 2015
Planned Completion of Final Design: December 2013
d) Project Funding
1) FY 2012 TIGER Discretionary Program Funding:
The total not-to-exceed amount of Federal funding that is provided under this Agreement is
identified on the Grant/Cooperative Agreement(page 1) sections 10 and 11. The FRA's
liability to make payments to the Grantee under this Agreement is limited to those funds
obligated under this Agreement as indicated above and any subsequent amendments.
2) FY 2012 Non-TIGER Financial Commitment(if any):
A. The Grantee hereby commits and certifies that it will provide funds (and
ensure the availability of other sources of funding, such as local/private
funding or in/kind contributions) in an amount sufficient, together with the
11
ATTACHMENT 1
Federal contribution (acknowledging the limitations as set forth in this
Agreement), to assure timely and full payment of the Project costs as
necessary to complete the Project.
B. The Grantee agrees to notify the FRA within 14 calendar days of any change
in circumstances or commitments that adversely affect the Grantee's plan to
fund the Project costs necessary to complete the Project as set forth in the
Grantee's Application. In its notification, the Grantee shall advise the FRA of
what actions it has taken or plans to take to ensure adequate funding resources
and shall reaffirm its commitment to the FRA as set forth in subsection (A) of
this section 4(d)(2). The FRA is not responsible for any funding shortfalls
regarding the FY 2012 non-TIGER grant amount share. The FY 2012 TIGER
Discretionary Grant Amount will remain unchanged (See section 13 of this
Attachment to the Agreement regarding termination).
3) Grant Funds and Sources of Project Funds:
A. The total estimated cost of the Project(as set forth in the Approved Project
Budget) is $ 10,953,244.
B. FRA funding assistance under the FY 2012 TIGER Discretionary Grant
Program is limited to an estimated 100% of the total estimated cost for
completing the Project, but not greater than$ 10,953,244. If there are any
cost savings, or if the contract award is under the engineer's estimate, the
Grantee's funding amount and percentage share may be reduced,provided
that the Grantee's share of the costs under the Act may not be reduced below
20% for urban area projects.
C. Grantee funding assistance (including all sources other than that provided in
(B) above, which may include other Federal funds, state funds, local funds, or
other contributed funds) is estimated to be 0%of the total cost of the Project.
Consequently, of the amount specified in subparagraph(A) of this subsection,
Grantee funding is estimated to be $ 0. If there are any cost savings, or if the
contract award is under the engineer's estimate, the Grantee's funding amount
and percentage share may be reduced, provided that the Grantee's share of the
costs under the Act may not be reduced below 20% for urban area projects.
D. When requesting payment, the Grantee must identify: (1) the total amount of
costs for which funding is requested; (2) Grantee funding assistance applied to
the Project; and (3) the balance of federal assistance dollars requested for
payment.
E. Funding responsibility for the Project under this Agreement is recapped as
follows:
ATTACHMENT 1
FRA Funding + Grantee Cash - Grantee ln- - Total Project
Assistance Contribution kind Funding
$10,953,244.00 II$000,000.00 11 $000,000.00 $10,953,244.00
SECTION 5. REIMBURSEMENT OF PROJECT COSTS
Pursuant to 49 C.F.R. 18.21(d) or 19.22(e), as applicable,the Grantee may request
reimbursement of costs incurred in the performance hereof as are allowable under the applicable
cost provisions, not-to-exceed the funds currently available as stated in this Agreement, and in
accordance with the provisions of section 4(d)(3) of Attachment 1. The Grantee shall submit an
electronic copy of SF 270, no more frequently than monthly, to the FRA contact person
identified in section 4(b) of this Attachment 1.
a) Requests for Reimbursement: When requesting reimbursement of costs incurred, the
Grantee shall submit supporting cost detail with the SF 270 to clearly document costs incurred.
Cost detail includes a detailed breakout of all costs incurred including direct labor, indirect costs,
other direct costs, and travel. The FRA contact person identified in section 4(b) of this
Attachment 1 reserves the right to withhold processing requests for reimbursement until
sufficient detail is received. In addition, reimbursement will not be made without review and
approval by the FRA contact person identified in section 4(b) of this Attachment 1 to ensure that
progress on the Agreement is sufficient to substantiate payment. After approval, the FRA
contact person identified in section 4(b) of this Attachment 1 will certify and forward the request
for reimbursement to the payment office.
b) Payment of FRA funding through FRA's Office of Financial Services, shall be made on a
reimbursable basis whereby the Grantee will be reimbursed, after the submission of proper
invoices, for actual expenses incurred.
The Grantee will use the Automated Clearing House(ACH) Electronic Vendor Payment method
for transfer of reimbursed funds and submit a SF-270 form. Requests for reimbursement must be
made through the Department of Transportation's Delphi elnvoicing System. Information on the
Delphi elnvoicing System can be found at: http:r wwvic.dot.g.ov/efo/delphi-cinvoicin--
systcnm.htnil. To obtain access to the Delphi elnvoicing System, please contact your grant
Administrative Officer or Grant Manager.
c) To seek reimbursement from the Government, the Grantee shall submit, on a monthly
basis, documentary evidence of all obligations associated with the Project set forth in this
Agreement, and set forth the breakdown of those Project costs (those to be covered by the
Federal FY 2012 TIGER Discretionary Grant Program contribution, and those to be covered by
all sources other than the FY 2012 TIGER Discretionary Grant Program, which may include
other Federal funds, state funds, local funds, or other contributed funds ). The FRA will
reimburse the Grantee upon request for all valid expenses (FY 2012 TIGER Discretionary Grant
Program share of Project costs),upon FRA's acceptance of such documentation. All
13
ATTACHMENT 1
reimbursement requests to the Government shall be supported by sufficient documentation to
justify reimbursement of the Grantee, including invoices and proof of payment of an invoice.
d) The Grantee shall have entered into obligations for services and goods associated with
the Project prior to seeking reimbursement from the Government.
e) The Grantee shall ensure that the funds provided by the Government are not
misappropriated or misdirected to any other account,need, project, line-item, or the like.
f) Any Federal funds not expended in c junction with the P ject will remain the property
of the Government.
g) Financial Management System: By signing this agreement, the Grantee verifies that it
has, or will implement, a financial management system adequate for monitoring the
accumulation of costs, and that it complies with the financial management system requirements
of 49 C.F.R. Part 10 or Part 19, as applicable. The Grantee's failure to comply with these
requirements may result in Agreement termination.
h) Allowability of Costs: Determination of allowable costs will be made in accordance with
the applicable Federal cost principles, e.g., OMB Circular A-87 (2 C.F.R. Part 225). Disallowed
costs are those charges determined to not be allowed in accordance with the applicable Federal
cost principles or other conditions contained in this Agreement.
SECTION 6. RESPONSIBILITY AND AUTHORITY OF THE GRANTEE
a) Legal Authority. The Grantee affirms that it has the legal authority to apply for the grant,
and to finance and carry out the proposed project identified in its Technical Application; that a
resolution, motion or similar action has been duly adopted or passed as an official act of the
Grantee's governing body authorizing the filing of the application, including all understandings
and assurances contained therein, and directing and authorizing the person identified as the
official representative of the Grantee to act in connection with the application and to provide
such additional information as may be required.
b) Funds Availability. The Grantee affirms that it has sufficient funds available for that
portion of the P 'ect costs that are not to be paid by the Government. The Grantee also affirms
that it has sufficient funds available to assure operation and maintenance of items funded under
the Agreement that it will own or control.
c) Preserving Rights and Powers. The Grantee will not take or permit any action that would
operate to deprive it of any of the rights and powers necessary to perform any or all of the terms,
conditions, and assurances in the Agreement without the written approval of the Government,
and will act promptly to acquire, extinguish,or modify any outstanding rights or claims of right
of others that would interfere with such performance by the Grantee. The Grantee agrees that
this will be done in a manner acceptable to the Government.
d) Accounting System. Audit and Record Keeping Requirements.
1. The Grantee agrees to keep all project uououotuuodn:cordufbotfuU)ydiyulomctbc
amount and disposition by the Grantee of the proceeds of the grant, the total cost of the Project in
connection with which the grant is given or used, and the amount or nature of that portion of the
cost of the Project supplied by other sources, and such other financial records pertinent to the
14
ATTACHMENT
Project. The accounts and records shall be kept in accordance with an accounting system that
will facilitate an effective audit in accordance with the Single Audit Act of 1984, as amended (31
U.S.C. 7501-7507).
2. The Grantee agrees to make available to the DOT and the Comptroller General of
the United States, or any of their duly authorized representatives, for the purpose of audit and
examination, any books, documents, papers, and records of the Grantee that are pertinent to the
grant. The Government may require that a Grantee conduct an appropriate audit. In any case in
which an independent audit is made of the accounts of a Grantee relating to the disposition of the
proceeds of a grant or relating to the Project in connection with which the grant was given or
used, it shall file a certified copy of such audit with the Comptroller General of the United States
not later than six (6)months following the close of the fiscal year for which the audit was made.
e) Minimum Wage Rates. The Grantee shall include, in all contracts in excess of$2,000 for
work on any projects funded under this Agreement that involve labor,provisions establishing
minimum rates of wages, to be predetermined by the Secretary of Labor, in accordance with the
Davis-Bacon Act, as amended(40 U.S.C. 3141, et seq.), which contractors shall pay to skilled
and unskilled labor, and such minimum rates shall be stated in the invitation for bids and shall be
included in proposals or bids for the work.
f\ Foreign Market Restrictions. The Grantee will not allnv, funds provided under this grant
to be used to fund any project that uses any product or service of a foreign country during the
period in which such foreign country is listed by the United States Trade Representative as
denying fair and equitable market opportunities for products and suppliers of the United States in
procurement and construction.
h) Relocation and Real Property Ac ioitioo. (1) The Grantee will be guided in acqui
real property, to the greatest extent practicable under State law,by the land acquisition policies
in Subpart B of 49 C.F.R. Part 24 and will pay or reimbur c property owners for necessary
expenses as specified in Subpart B. (2) The Grantee will provide a relocation assistance program
offering the services described in Subpart C and fair and reasonable relocation payments and
assistance to displaced persons as required in Subpart D and E of 49 C.F.R. Part 24. (3)The
Grantee will make available within a reasonable period of time prior to diop>aoecueot,
comparable replacement dwellings to displaced persons in accordance with Subpart E of 49
C.F.R. Part 24.
SECTION 7. LABOR REQUIREMENTS
a) The Consolidated and Further Continuing Appropriations Act, 2012 (Pub. L. 112-055,
Nov. 18, 2011)), regarding National Infrastructure Investments (the "Act") (referred to as " FY
2012 TIGER Discretionary Grants" or"TIGER Discretionary Grants")requires that all laborers
and mechanics employed by contractors and subcontractors on projects funded directly by or
assisted in whole or in part by and through the Federal Government shall be paid wages at rates
not less than those prevailing on p jects of a character similar in the locality as determined by
the Secretary of Labor in accordance with subchapter IV of chapter 31 of Title 40, United States
Code.
b) Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145,the
Department of Labor has issued regulations at 29 C.F.R. Parts 1, 3, and 5 to implement the
15
ATTACHMENT 1
Davis-Bacon and related Acts. Regulations in 29 C.F.R. 5.5 instruct agencies concerning
application of the standard Davis-Bacon contract clauses set forth in that section. Federal
agencies providing grants, cooperative agreements, and loans under the Act shall ensure that the
standard Davis-Bacon contract clauses found in 29 C.F.R. 5.5(a) are incorporated in any
resultant covered contracts that are in excess of$2,000 for construction, alteration or repair
(including painting and decorating).
c) Federal agencies providing grants, grant agreements, and loans under the Act shall ensure
that the standard Davis-Bacon contract clauses found in 29 C.F.R. 5.5(a) are incorporated in any
resultant covered contracts that are in excess of$2,000 for construction, alteration or repair
(including painting and decorating).
d) For additional guidance on the wage rate requirements of the Act, contact your awarding
agency. Recipients of grants, grant agreements and loans should direct their initial inquiries
concerning the application of Davis-Bacon requirements to a particular federally assisted project
to the Federal agency funding the project. The Secretary of Labor retains final coverage authority
under Reorganization Plan Number 14.
SECTION 8. TRANSPARENCY ACT REQUIREMENTS
[THIS SECTION MAY BE UPDATED BASED ON
FURTHER OMB GUIDANCE OR REGULATION]
Pursuant to the Federal Funding Transparency and Accountability Act of 2006, as amended
(Pub. L. 109-282, as amended by section 6202 of Public Law 110-252, hereafter referred to as
"the Transparency Act" or "the Act") and the OMB Interim Final Rule (75 FR 55663
(September 14, 2010) (available at h11p_'twWw.2po.io‘ Idsys pku:'FR-2010-09-14 )df 2010-
22705.pdt) (codified at 2 C.F.R. Part 170), the Grantee is required to report as required under the
Act, in addition to including the following clause in all first-tier Subawards:
I. Reporting Subawards and Executive Compensation.
a. Reporting of First-Tier Subawards.
1)Applicability. Unless the Grantee (hereinafter in this section referred to as "you") are exempt
as provided in paragraph d. of this section, you must report each action that obligates $25,000 or
more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of
the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an
entity (see definitions in subsection e. of this section).
2)Where and when to report.
a. You must report each obligating action described in subsection a.l. of this section to
http://www.fsrs.gov.
b. For subaward information, report no later than the end of the month following the month in
which the obligation was made. (For example, if the obligation was made on November 7, 2010,
the obligation must be reported by no later than December 31, 2010.)
16
ATTACHMENT 1
3)What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1)Applicability and what to report. You must report total compensation for each of your five
most highly compensated executives for the preceding completed fiscal year, if—
a. the total Federal funding authorized to date under this award is $25,000 or more;
b. in the preceding fiscal year, you received—
(1) 80 percent or more of your annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2
C.F.R. 170.320 (and subawards); and
(2) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2
C.F.R. 170.320 (and subawards); and
c. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d)of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)
2)Where and when to report. You must report executive total compensation described in
subsection b.l. of this section:
a. As part of your registration profile at http://www.ccr.gov.
b. By the end of the month following the month in which this award is made, and annually
thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1)Applicability and what to report. Unless you are exempt as provided in subsection d. of this
section, for each first-tier subrecipient under this award, you shall report the names and total
compensation of each of the subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year, if—
a. in the subrecipient's preceding fiscal year, the subrecipient received—
(1) 80 percent or more of its annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2
C.F.R. 170.320 (and subawards); and
17
ATTACHMENT 1
(2) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards);
and
b. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)
2) Where and when to report. You must report subrecipient executive total compensation
described in subsection c.1. of this section:
a. To the recipient.
b. By the end of the month following the month during which you make the subaward. For
example, if a subaward is obligated on any date during the month of October of a given year(i.e.,
between October 1 and 31), you must report any required compensation information of the
subrecipient by November 30 of that year.
d. Exemptions.
If, in the previous tax year, you had gross income, from all sources, under$300,000, you are
exempt from the requirements to report:
a. Subawards,
and
b. The total compensation of the five most highly compensated executives of any subrecipient.
e. Definitions. For purposes of this section:
1)Entity means all of the following, as defined in 2 C.F.R. Part 25:
a. A Governmental organization, which is a State, local government, or Indian tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization;
e. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal
entity.
18
ATTACHMENT 1
2)Executive means officers, managing partners, or any other employees in management
positions.
3) Subaward:
a. This term means a legal instrument to provide support for the performance of any portion of
the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry out the
project or program(for further explanation, see Sec. .210 of the attachment to OMB
Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations").
c. A subaward may be provided through any legal agreement, including an agreement that you or
a subrecipient considers a contract.
4) Subrecipient means an entity that:
a. Receives a subaward from you(the recipient)under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
5) Total compensation means the cash and noncash dollar value earned by the executive during
the recipient's or subrecipient's preceding fiscal year and includes the following (for more
information see 17 C.F.R. 229.402(c)(2)):
a. Salary and bonus.
b. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS
123R), Shared Based Payments.
c. Earnings for services under non-equity incentive plans. This does not include group life,
health, hospitalization or medical reimbursement plans that do not discriminate in favor of
executives, and are available generally to all salaried employees.
d. Change in pension value. This is the change in present value of defined benefit and actuarial
pension plans.
e. Above-market earnings on deferred compensation which is not tax-qualified.
f. Other compensation, if the aggregate value of all such other compensation (e.g. severance,
termination payments, value of life insurance paid on behalf of the employee,perquisites or
property) for the executive exceeds $10,000.
19
ATTACHMENT 1
SECTION 9. SINGLE AUDIT INFORMATION FOR RECIPIENTS OF TIGER
DISCRETIONARY GRANT FUNDS
a) To maximize the transparency and accountability of funds authorized under the Act as
required by Congress and in accordance with 2 C.F.R. 215.21 "Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and
other Non-Profit Organizations" and OMB Circular A-102 "Grants and Cooperative Agreements
with State and Local Governments."Common Rules provisions, recipients agree to maintain.
records that identify adequately the source and application of TIGER Discretionary Grant funds.
OMB Circular A-102 is available at http://www.whitehouse.gov/omb/circulars/al 02/a102.html.
b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular
A-133, "Audits of States, Local Governments, and Non-Profit Organizations,"recipients agree
to separately identify the expenditures for Federal awards under the Act on the Schedule of
Expenditures of Federal Awards (SEFA) and the Data Collection Form(SF—SAC)required by
OMB Circular A-133. OMB Circular A-133 is available at
http://www.whitehouse.gov/omb/circulars/a133/a133.html. This shall be accomplished by
identifying expenditures for Federal awards made under the Act separately on the SEFA, and as
separate rows under Item 9 of Part III on the SF—SAC by CFDA number, and inclusion of the
prefix "FY 2012 TIGER-" in identifying the name of the Federal program on the SEFA and as
the first characters in Item 9d of Part III on the SF—SAC.
SECTION 10. REPORTING
Subject to the Paperwork Reduction Act, and consistent with the purposes of the FY 2012
TIGER Discretionary Grant Program, the Grantee agrees to collect data necessary to measure
performance of the Project and to ensure accountability and transparency in Government
spending. The Grantee further agrees to submit periodic reports to the Government that contain
data necessary to measure performance of the Project and to ensure accountability and
transparency in Government spending.
a) Project Outcomes and Performance Measurement Reports. The Grantee shall collect the
data necessary to track and report on each of the performance measures identified in the
Performance Measurement Table in Attachment 4, and report results of the data for each
measure to the Government periodically, according the reporting schedule identified in
Attachment 4. Furthermore, the Grantee agrees to provide an initial Pre-project Report and a
final Project Outcomes Report to the Government. The Pre-project Report shall consist of
current baseline data for each of the performance measures specified in the Performance
Measurement Table in Attachment 4. The Pre-project Report shall include a detailed description
of data sources, assumptions, variability, and the estimated level of precision for each measure.
The Grantee shall submit the report to the Government before initiating work under this
Agreement. The Grantee shall represent that the data in the Pre-project Report is current as of
the date it is issued. The Grantee shall submit interim Project Performance Measurement
Reports to the Government for each of the performance measures specified in the Performance
Measurement Table in.Attachment 4 following Project completion. The Grantee shall submit
reports at each of the intervals identified for the duration of the time period specified in the
20
ATTACHMENT 1
Performance Measurement Table in Attachment 4. The Grantee shall represent that the data in
each of the interim Project Performance Reports is current as of the final date of the reporting
interval. The Project Outcomes Report shall consist of a narrative discussion detailing Project
successes and/or the influence of external factors on Project expectations. The Grantee shall
submit the Project Outcomes Report to the Government within 3 months of the end date of
performance under this Agreement, which includes an ex post examination of Project
effectiveness in relation to the Pre-project Report baselines. The Grantee shall represent that the
data in the Project Outcomes Report is current as of the date it is issued. The Grantee shall
submit each report via email to each of the Government contacts identified in section 4(b) of this
Attachment 1 of this Agreement and, additionally, to outcomes(a,dot.gov. The email shall
reference and identify in the email subject line the TIGER Grant Number and provide the
number of the Performance Measures report submitted.
b) Project Progress and Monitoring Reports. Consistent with the purposes of the FY 2012
TIGER Discretionary Grant Program, to ensure accountability and transparency in Government
spending,the Grantee shall submit quarterly progress reports (January 1, April 1, July 1, October
1), and the Federal Financial Report(SF-425), as set forth in Section 14(h): to the Government
on a quarterly basis, on the 30`h of the month following the quarter being reported, until
completion of the Project. The initial report shall include a detailed description, and, where
appropriate, drawings, of the items funded. The Grantee shall submit all required reports and
documents to the FRA contact person identified in Attachment 1, section 4(b), referencing the
Agreement number, and through GrantSolutions in the case of the Federal Financial Report(SF-
425)
c) Annual Budget Review and Program Plan. The Grantee shall submit an Annual Budget
Review and Program Plan to the Government via e-mail 60 days prior to the end of each
Agreement year. The Annual Budget Review and Program Plan shall provide a detailed
schedule of activities, estimate of specific performance objectives, include forecasted
expenditures, and schedule of milestones for the upcoming Agreement year. If there are no
proposed deviations from the Approved Project Budget, Attachment 3, the Annual Budget
Review shall contain a statement stating such. The Grantee will meet with the Government to
discuss the Annual Budget Review and Program Plan. If there is an actual or projected Project
cost increase, the annual submittal should include a written plan for providing additional non-
TIGER Discretionary Grant sources of funding to cover the Project budget shortfall or
supporting documentation of committed non-TIGER Discretionary Grant funds to cover the cost
increase.
d) Closeout Process. Closeout occurs when all required Project work and all administrative
procedures described in Title 23 (or 49 C.F.R. part 18 or part 19, as applicable) are completed,
and the Government notifies the Grantee and forwards the final Federal assistance payment, or
when the Government acknowledges Grantee's remittance of the proper refund. Within 90 days
of the Project completion date or termination by the Government, the Grantee agrees to submit a
final Financial Status Report(SF-425), a certification or summary of Project expenses, and third-
party audit reports.
SECTION 11. SPECIAL GRANT REQUIREMENTS
21
ATTACHMENT 1
a) Except as otherwise provided herein, the Grantee shall ensure the maintenance of Project
property to the level of utility(including applicable FRA track safety standards) which exists
when the Project improvements are placed in service (as set forth in the Statement of Work
(Attachment 2) for a period of twenty(20) years from the date such Project property was placed
in service. In the event the Grantee fails to maintain project property as required by this section
for a period of time in excess of six (6)months, the Grantee will refund to the Government a pro-
rata share of the Federal contribution, based upon the percentage of the twenty(20) year period
remaining at the time of such original default.
b) The Grantee acknowledges that the purpose of the Project is to benefit railroad
transportation. In the event that all intercity passenger rail service making use of the Project
property is discontinued (for any reason) at any time during a period of twenty(20) years from
the date such Project property was placed in service, as set forth above, and if such intercity
passenger rail service is not reintroduced during a one (1) year period following the date of such
discontinuance, the Grantee shall refund to the Government, no later than eighteen (18)months
following the date of such discontinuance, a pro-rata share of the Federal contribution, based
upon the percentage of the twenty(20) year period remaining at the time of such discontinuance.
SECTION 12. ASSURANCES AND CERTIFICATIONS
The Grantee will ensure compliance with the standard FY 2012 TIGER grant program
assurances and certifications, attached hereto as Attachment 5 and made a part hereof.
SECTION 13. TERMINATION,EXPIRATION, AND MODIFICATION
a) Subject to terms set forth in this Agreement, the Government reserves, in its sole
discretion, the right to terminate this Agreement, and all of its obligations with this Agreement,
unless otherwise agreed to in a signed writing between the Grantee and the Government, if any
of the following occurs:
1) The Grantee fails to obtain or provide any non-FY 2012 TIGER Discretionary Grant
Program contribution or alternatives approved by the Government, in accordance
with section 4(d)of Attachment 1 of this Agreement;
2) The Grantee fails to begin construction before June 30, 2014;
3) The Grantee fails to begin expenditure of Grant funds by September 30, 2013;
4) The Grantee fails to meet the conditions and obligations specified under this
Agreement, including, but not limited to, a material failure to comply with the Project
Schedule, after giving the Grantee a reasonable opportunity to cure such failure;
5) The Government determines that the public objectives of the Project cannot be
accomplished.
22
ATTACHMENT 1
b) Funds made available under this Agreement are required to be obligated by the
Government on or before September 30, 2013. Funds made available under this Agreement,
once obligated, are available for liquidation and adjustment through September 30, 2018, the
"Grant Termination Date." Unless otherwise agreed to by the parties, this Agreement shall
terminate on the Grant Termination Date.
c) Either party(the Government or the Grantee)may seek to amend or modify this
Agreement prior to the Grant Termination Date by written notice(formal letter)to the other
party and in accordance with 49 C.F.R. Parts 18.43 and 18.44. The Grant Agreement may be
amended or modified only on the mutual written agreement by both parties. Changes to
Attachments 3 and 4 (Estimated Project Schedule and Approved Project Budget) do not require
modification through the process in this paragraph if such modifications do not affect the dates
or amounts in sections 4(c)(4) and(5) and 4(d)(3) of Attachment 1 of this Agreement, and the
change has been consented to by the Government in writing consistent with the requirements of
the administering Operating Administration(including by e-mail).
SECTION 14. QUARTERLY PROGRESS REPORTING REQUIREMENTS—FORMAT
AND CONTENT
a) The purpose of the calendar quarterly progress reports under the Agreement for the
TIGER Discretionary Grants program is to ensure that the project budget and schedule will be
maintained to the maximum extent possible, that the project will be completed with the highest
degree of quality, and that compliance with Federal regulations will be met. To that end, along
with the quarterly progress, as outlined below, the Grantee should also submit a Federal
Financial Report(SF-425)with each quarterly progress report.
b) The Grantee should develop a project reporting and tracking system to collect, assess and
maintain project status information and data that is timely, independent, and accurate. This
system should provide current information on project prosecution, progress, changes, and issues.
This information should be used to identify trends and forecast project performance and to
identify and proactively address challenges to eliminate major project surprises.
c) The need to continuously and accurately report cost increases; schedule changes;
deficient quality items; and the causes, impacts, and proposed measures to mitigate these issues
is paramount to effectively managing, administering, and protecting the public investment in the
project. Any apparent reporting deficiencies or questionable data should be completely resolved.
Ultimately, the Grantee and the Government must be fully aware of the complete status of the
project, and therefore be in a position to take appropriate action if necessary.
d) A quarterly cost, schedule, and status report will be produced by the Grantee, and a
quarterly status meeting will be held with the Grantee, the Government and other applicable
agencies in attendance The quarterly status meetings should discuss the project costs, schedules,
quality issues, compliance with Federal requirements, and other status items in sufficient enough
detail to allow all involved parties to be fully aware of the significant status issues and actions
planned to mitigate any adverse impacts. In addition, significant issues occurring between status
meetings must be communicated immediately without waiting for the next regularly scheduled
23
ATTACHMENT 1
meeting, with any highly significant or sensitive issues elevated immediately to the executive
leadership.
e) The following is the required format for the quarterly progress reports. At the discretion
of the Government,modifications or additions can be made in order to produce a quarterly
reporting format that will most effectively serve both the Grantee and the Government. It is
recognized that some projects will have a more extensive quarterly status than others. In the case
of smaller projects, the content of the quarterly reports will be streamlined and project status
meetings will be held on a less-frequent basis. Please note that the initial quarterly progress
report should include a detailed description, and where appropriate, drawings, of the items
funded.
(a) Executive Summary. The executive summary should be a clear and concise summary
of the current status of the project, including any major issues that have an impact on the
project's scope,budget, schedule, quality, or safety. It may be done in a bulleted format. The
following summary information is an example of items that should be covered in the executive
summary section:
• Current total project cost (forecast) vs. latest budget vs. baseline budget. Include an
explanation of the reasons for any deviations from the approved budget.
• Current overall project completion percentage vs. latest plan percentage.
• Any delays or exposures to milestone and final completion dates. Include an explanation
of the reasons for the delays and exposures.
• A summary of the projected and actual dates for notices to proceed for significant
contracts, start of construction, start of expenditure of TIGER Discretionary Grant funds,
and project completion date. Include an explanation of the reasons for any discrepancies
from the corresponding project milestone dates included in the Agreement.
• Any Federal obligations and/or TIFIA disbursements occurring during the month versus
planned obligations or disbursements.
• Any significant contracts advertised, awarded, or completed.
• Any significant scope of work changes.
• Any significant items identified as having deficient quality.
• Any significant safety issues.
• Any significant Federal issues such as environmental compliance, Buy America/Buy
American(whichever is applicable to this Project), Davis Bacon Act Prevailing Wage
requirements, etc.
24
ATTACHMENT 1
(b) Project Activities and Deliverables. The purpose of this section is to: (1) highlight the
project activities and deliverables occurring during the previous quarter(reporting period), and
(2) define the activities and deliverables planned for the next two reporting periods. Activities
and deliverables to be reported on should include meetings, audits and other reviews, design
packages submitted, advertisements, awards, construction submittals, construction completion
milestones, submittals related to any applicable Recovery Act requirements, media or
Congressional inquiries, value engineering/constructability reviews, and other items of
significance. The two reporting period"look ahead schedule"will enable the Government to
accommodate any activities requiring input or assistance.
(c ) Action Items/Outstanding Issues. This section should draw attention to, and track the
progress of, highly significant or sensitive issues requiring action and direction in order to
resolve. In general, issues and administrative requirements that could have a significant or
adverse impact to the project's scope, budget, schedule, quality, safety, and/or compliance with
Federal requirements should be included. Status, responsible person(s), and due dates should be
included for each action item/outstanding issue. Action items requiring action or direction should
be included in the quarterly status meeting agenda. The action items/outstanding issues may be
dropped from this section upon full implementation of the remedial action, and upon no further
monitoring anticipated.
(d) Project Schedule. An updated master program schedule reflecting the current status of
the program activities should be included in this section. A Gantt (bar)type chart is probably the
most appropriate for quarterly reporting purposes, with the ultimate format to be agreed upon
between the Grantee and the Government. It is imperative that the master program schedule be
integrated, i.e., the individual contract milestones tied to each other, such that any delays
occurring in one activity will be reflected throughout the entire program schedule, with a realistic
completion date being reported. Narratives,tables, and/or graphs should accompany the updated
master program schedule, basically detailing the current schedule status, delays and potential
exposures, and recovery efforts. The following information should also be included:
• Current overall project completion percentage vs. latest plan percentage.
• Completion percentages vs. latest plan percentages for major activities such as right-of-
way, major or critical design contracts, major or critical construction contracts, and
significant force accounts or task orders. A schedule status description should also be
included for each of these major or critical elements.
• Any delays or potential exposures to milestone and final completion dates. The delays
and exposures should be quantified, and overall schedule impacts assessed. The reasons
for the delays and exposures should be explained, and initiatives being analyzed or
implemented in order to recover the schedule should be detailed.
(e) Project Cost. An updated cost spreadsheet reflecting the current forecasted cost vs. the
latest approved budget vs. the baseline budget should be included in this section. One way to
track project cost is to show: (1) Baseline Budget, (2) Latest Approved Budget, (3) Current
Forecasted Cost Estimate, (4) Expenditures or Commitments to Date, and (5)Variance between
25
T 1
Current Forecasted Cost and Lates . Line items should include all significant
cost centers, such as prior costs, right-of-way, preli engineering, environmental
mitigation, general engineering consultant, section design contracts, construction administration,
utilities, construction packages, force accounts/task orders, wrap-up insurance, construction
contingencies, management contingencies, and other contingencies. The line items can be
broken-up in enough detail such that specific areas of cost change can be sufficiently tracked and
future improvements made to the overall cost estimating methodology. A Program Total line
should be included at the bottom of the spreadsheet. Narratives, tables, and/or graphs should
accompany the updated cost spreadsheet, basically detailing the current cost status, reasons for
cost deviations, impacts of cost overruns, and efforts to mitigate cost overruns. The following
information should be provided:
• Reasons for each line item deviation from the approved budget, impacts resulting from
the deviations, and initiatives being analyzed or implemented in order to recover any cost
overruns.
• Transfer of costs to and from contingency line items, and reasons supporting the
transfers.
• Speculative cost changes that potentially may develop in the future, a quantified dollar
range for each potential cost change, and the current status of the speculative change.
Also, a comparison analysis to the available contingency amounts should be included,
showing that reasonable and sufficient amounts of contingency remain to keep the project
within the latest approved budget.
• Detailed cost breakdown of the general engineering consultant (GEC) services (if
applicable), including such line items as contract amounts, task orders issued(amounts),
balance remaining for tasks, and accrued(billable) costs.
• Federal obligations and/or TIFIA disbursements for the project, compared to planned
obligations and disbursements.
(f) Project Funding Status. The purpose of this section is to provide a status report on the
non-TIGER Discretionary Grant funds necessary to complete the project. This report section
should include a status update of any legislative approvals or other actions necessary to provide
the non-TIGER Discretionary Grant funds to the Project. Such approvals might include
legislative authority to charge user fees or set toll rates, or the commitment of local funding
revenues to the project. In the event that there is an anticipated or actual pr ject cost increase,
the project funding status section should include a report on the anticipated or actual source of
funds to cover the cost increase and any significant issues identified with obtaining additional
funding.
(g) Project Quality. The purpose of this section is to: (1) summarize the Quality
Assurance/Quality Cont ol activities during the previous month (reporting period), and(2)
highlight any significant items identified as being deficient in quality. Deficient items noted
should be accompanied by reasons and specifics concerning the deficiencies, and corrective
26
ATTACHMENT 1
actions taken or planned. In addition, the agency or firm responsible for the corrective action
should be documented. Planned corrective actions should then be included as Action
Items/Outstanding Issues.
(h) Federal Financial Report(SF425). The Federal Financial Report (SF-425) (available
at http://www.whitehouse.gov/sites/default/files/omb/assets/grants_forms/SF-425.pdf) is a
financial reporting form used throughout the Federal Government Grant system. The Grantee
shall submit the Federal Financial Report(SF-425) on a quarterly basis throughout the lifecycle
of the grant. Reports are due 30 days from the close of the calendar quarter and should be
submitted online through GrantSolutions. Reports should be submitted in accordance with the
form's instructions,requiring reporting of all transactions, including Federal cash, Federal
expenditures and unobligated balance, recipient share, and program income. The final SF-425 is
due within 90 days after the end of the award period, but may be submitted as soon as all
outstanding expenditures have been completed.
(i) Other Status Reports. The Grantee and the Government may agree that other reports
may be beneficial in ensuring that project status issues are fully and openly communicated. Such
reports may include the public relations plan, value engineering and constructability review plan,
environmental compliance report, and/or compliance with the Buy America requirements.
27
ATTACHMENT 2
STATEMENT OF WORK
International Rail Port Logistics Park
West Memphis,Arkansas
1. PROJECT ABSTRACT
The City of West Memphis (the City or Grantee) owns and operates the International Rail
Port Logistics Park(Port)in West Memphis, Arkansas that currently provides intermodal
freight transfer for import of steel and fertilizer from barge to truck and rail and export of
grain from truck and rail to barge on the Mississippi River. Through this grant agreement,
the Federal Railroad Administration (FRA)provides the City with funding to construct
improvements to the railroad facilities within the Port, including: (1)the upgrade of existing
track to support the handling of heavier rail carloads of manifest and unit trains, and (2) the
construction of approximately 13,500 feet of a new rail lead to the base of the St. Francis
levee(Project or Federal Project).
The new rail lead will support the expansion of the Port through the construction of a new
transload facility to facilitate intermodal freight transfer primarily for export of bulk
commodities between rail and barge (Transload Facility). As a condition of this Project,the
Grantee will coordinate with a private partner to complete the necessary planning, including
environmental review and engineering, and construction of the new Transload Facility.
2. BACKGROUND
West Memphis, Arkansas, and the greater Memphis, Tennessee region as a whole, is situated
at one of the most active multimodal transportation crossroads in the nation and world. It is
the convergence point and gateway for rail, road and inland marine transportation in the
central United States and the funnel point for expedited and palletized cargo shipments
moving via air at the Memphis International Airport.
While the greater Memphis region has highly developed transportation infrastructure and
distribution resources,the portion of the region west of the Mississippi River remains a
largely untapped economic resource for the next phase of multimodal development. The City
of West Memphis, Arkansas offers low cost and available land, a competitively priced
workforce, low taxes and close proximity to existing multimodal connections (interstate
highways; rail intermodal terminals; deep water port on the Mississippi River) in the
Nation's transportation system.
On January 31, 2012, the United States Department of Transportation(USDOT) issued a
Notice of Funding Availability(NOFA) in the Federal Register for funds appropriated under
the provisions of the Full-Year Continuing Appropriations, 2012 (Division B of the
Department of Defense and Full-Year Continuing Appropriations Act, 2012, regarding
National Infrastructure Investments (Act)). The grant program created under the Act is
referred to as the Fiscal Year 2012 "TIGER Discretionary Grants." In response, the Grantee
submitted an application for the Project on March 18, 2012. The USDOT reviewed the
Grantee's application for eligibility and it was evaluated in accordance with the criteria
outlined in the NOFA. This review considered the benefits of both the railroad
improvements in the Project and the economic development from the Transload Facility as
presented in the Grantee's application. On the basis of this evaluation, the USDOT Secretary
of Transportation selected the Grantee for an award, through a grant agreement with the
FRA, for$10,953,244 for the Project as outlined in this statement of work(SOW).
3. PROJECT OBJECTIVES
The improvements in this Project will allow the City of West Memphis to increase railroad
capacity within the International Rail Port Logistics Park to handle heavier rail carloads of
manifest and unit trains. This investment will facilitate a private party to construct a new
Transload Facility to facilitate intermodal freight transfer primarily for export of bulk
commodities between rail and barge within the Port and adjacent private lands. The
improvements in the Port and the new Transload Facility will enable the greater Memphis
region to diversify its intermodal freight transportation system by connecting western freight
railroad with the Mississippi River for export and import cargo shipments of bulk
commodities.
4. PROJECT BENEFITS
The Project will provide the ability for the Port to handle manifest and unit trains of heavier
rail cars and connect to the Mississippi River. Specifically, the benefits of the Project
include:
• Transportation enhancements inducing current and future industrial development of
approximately 2,500 acres of land as an intermodal rail freight logistics park;
• relief of congestion at regional distribution centers that are at full capacity, which are
limited due to access restrictions and transportation delays;
• full multimodal connectivity for regional distribution centers that do not have
capability for railroad on-dock service;
• maximization of multimodal access potential to connect established transportation
corridors; specifically, to major roadway crossings of the Mississippi River at
Interstate-40 and Interstate-55, and two western freight railroads (Union Pacific and
BNSF);
• diversion option for a significant portion of continental eastbound dry bulk material
that currently crosses the Mississippi River via rail to barge;
• benefit to the environment, quality of life, and regional economy in an Economically
Distressed Area; and
• maintenance of the Port in a state of good repair.
5. SCOPE OF ACTIVITIES
A. Project Plan
2
For the administration of the grant agreement,this Project is defined as the"Federal
Project"for the construction of improvements to the railroad facilities within the Port.
Supplementary to the Federal Project, the Grantee will coordinate with a private partner
to complete the environmental review and engineering for, and construction of the new
Transload Facility. The FRA expects that the Grantee and private partner will fund and
construct the Transload Facility separate from, but in close coordination with, the Federal
Project. The construction of the Transload Facility is required for the delivery of the
benefits anticipated from the Federal Project; and the two are, therefore, interrelated. The
Grantee will, through appropriate agreements, secure the commitment of the private
partner to complete the Transload Facility and the Grantee will share these agreements
with the FRA for review and assurance of compatibility, coordination and
completion/connection to and with the Federal Project.
Port Railroad Improvements(Federal Project)
The Federal Project includes the rehabilitation and upgrade of approximately 13,500 feet
of existing track on the Friday-Graham line to 136 lb. rail (new or recycled) to support
the handling of manifest and unit trains of 286,000 lb. rail cars within the Port; the
construction of 1,500 feet of new track to extend Track#859 to 2,800 feet within the
Port; and the construction of approximately 13,500 feet of new track to connect the
existing rail facilities within the Port with the new Transload Facility that will be
constructed adjacent to the St. Francis Levee along the Mississippi River.
For the purpose of the grant agreement, the Grantee must complete the tasks for the
Federal Project as outlined in this SOW, and submit the deliverables to FRA for review
and approval prior to proceeding with activities in subsequent tasks.
Transload Facility (non-Federal)
The Transload Facility will include, at a minimum: one conveyor system over the St.
Francis Levee connecting to the rail lead track, and one port or dock facility on the
Mississippi River. The Transload Facility will also include the construction of additional
rail storage, or a"loop track,"(including holding track and switching yard functions)to
support the staging of bulk freight unit trains accessing the Port and Transload Facility.
The Grantee will determine the exact components to be constructed in the Transload
Facility during the completion of preliminary engineering and environmental review in
Tasks 1 and 2 of this SOW, and will confirm the value of, and commitment to, construct
these facilities with the private partner in an executed binding agreement prior to
proceeding with final design or construction of the Federal Project and Transload Facility
in Tasks 3 and 4 of this SOW.
For the purpose of the grant agreement,the Grantee must provide the requested
supporting documents for the Transload Facility to FRA to confirm the compatibility
with the Federal Project. However, the costs associated with the preparation of those
supporting documents are not reimbursable under the grant agreement.
B. Special Conditions
3
This section defines special conditions restri i the advancement of specific activities
in this SOW, which are subject to the completion of prerequisite "deliverables" for the
Federal Project and"supporting documents" for the Transload Facility. The special
conditions will be released as the Grantee completes the prerequisite activities,
authorizing advancement of the restricted activity in the Project, as defined below.
1. Stakeholder Agreement with Infrastructure Owners and Operators
Upon completion of preliminary engineering and environmental review in Tasks 1 and 2
of this SOW, and no later than August 1, 2013, the Grantee shall execute a binding
agreement with the private private partner committing the private partner to construct and
operate the Transload Facility as a condition of funding of the Federal P joct. The
stakeholder agreement shall include a schedule that brings the Transload Facility into
operation within one year following completion of the Federal P jcut, which is
anticipated to be December 31, 2014. The Grantee shall not proceed with final design of
the Federal Pr ject in Task 3 of this SOW prior to execution of this agreement and the
receipt of FRA's written release of this Special Condition. As a condition to entering into
the binding agreement with the Grantee, the private partner must receive an operating
permit from the U.S. Army Corps of Engineers (COE) for the Transload Facility.
2. Preliminary Engineering
The Grantee shall complete preliminary engineering for the Federal Project in Task 1 of
this SOW, including the provision of required supporting documents for the Transload
Facility for FRA review and approval no later than August 1, 2013. The Grantee shall
not proceed with final design in Task 3 of SOW prior to completion of preliminary
engineering and the receipt of FRA's written release of this Special Condition.
3. Environmental Review
a. The Grantee may not expend any of the funds provided in this agreement or
incur expenses under this Agreement on construction or other activities that
represent an irretrievable commitment of resources unless and until all
environmental and historic preservation analyses required by the National
Environmental Policy Act(42 U.S.C. 4332)(NEPA), the National Historic
Preservation Act (16 U.S.C. 470f)(NHPA). and related laws and regulations
have been completed, and FRA has provided the Grantee with a written notice
that the environmental review is complete. At that time, the distribution and
expenditure of funds may be authorized. Depending on the outcome of the
NEPA process, FRA may rescind this agreement.
b. The Grantee shall assist FRA in its compliance with the provisions of NEPA,
the Council on Environmental Quality's regulations implementing NEPA (40
C.F.R. parts 1500-1508), FRA's "Procedures for Considering Environmental
Impacts" (64 Fed. Reg. 28545 (May 26, 1999) and 78 Fed. Reg. 2713 (Jan. 14,
2013)), Section 106 of the NHPA, and related environmental and historic
preservation statutes and regulations. As a condition of receiving financial
assistance under this agreement,the Grantee may be required to conduct
4
certain environmental analyses and to prepare and submit to the FRA draft
documents required under NEPA, NHPA, and related statutes and regulations
(including draft environmental assessments and proposed draft and final
environmental impact statements).
c. No publicly-owned land from a park, recreational area, or wildlife or
waterfowl refuge of national, state, or local significance as determined by the
Federal, State, or local officials having jurisdiction thereof, or any land from
an historic site of national, state or local significance as so determined by such
officials shall be used by the Grantee without the prior written concurrence of
FRA. The Grantee shall assist the FRA in complying with the requirements of
49 U.S.C. § 303.
4. Final Design and Construction
The Grantee shall complete final design for the Federal Project in Task 3 of this SOW,
including the provision of required supporting documents for the Transload Facility for
FRA review and approval no later than December 1, 2013. The Grantee shall not
proceed with construction of the Federal Project in Task 4 of this SOW prior to
completion of final design for the Federal Project and the receipt of FRA's written release
of this Special Condition. The initiation of final design or construction of any element of
the Federal Project or construction of any element of the Transload Facility prior to
completion of the environmental review may disqualify the Project for receipt of Federal
funding under the grant agreement.
C. Description of Work
The Grantee shall complete this Project through four tasks as described below. Each of
the four tasks is to be completed independently, with Tasks 1 and 2 authorized to begin
immediately upon issuance of the grant agreement in accordance with this SOW. The
Grantee shall not proceed with Task 3 of the Federal Project or Task 4 of the Federal
Project and Transload Facility until provided with written approval from FRA of the
deliverables in Tasks 1 and 2, and release of the applicable special conditions described
in section B of this SOW.
Task 1.0: Preliminary Engineering
The Grantee shall prepare, or cause to be prepared, preliminary engineering for both the
Federal Project and Transload Facility. The preliminary engineering for the Federal
Project is a required deliverable to further define the railroad improvements at the Port
that will be completed with the Federal funds provided in the grant agreement. This
deliverable will require FRA review and approval. The preliminary engineering for the
Transload Facility is a required supporting document to further define the improvements
contemplated at the Transload Facility and confirm the compatibility with the Federal
Project.
Task 1.1: Preliminary Engineering (Port Railroad Improvements, Federal Project)
5
The Grantee shall complete preliminary engineering for the Federal Project up to
approximately 25%design. The preliminary engineering document shall include, at a
minimum: rail and roadbed cross section, track profile, turnouts, signal plans (if
applicable), and grade crossing design. The preliminary engineering should also include
an itemized list of materials, quantified cost estimate and preliminary Project schedule.
The primary purpose of the 25% submittal is to refine the Project scope for advancement
to Task 3 for final design. The 25% submittal will also provide conceptual drawings and
exhibits to support environmental review in Task 2.
Task 1.2: Preliminary Engineering (Transload Facility)
The Grantee shall prepare, or cause to be prepared,preliminary engineering for the
Transload Facility to a conceptual level of design to confirm the scope, function,
schedule and cost estimate for the Transload Facility to be constructed by the private
partner. The preliminary engineering for the Transload Facility shall be submitted to
FRA as a supporting document for review for compatibility with the Federal Project.
Task 1.3: Preliminary Engineering(Project Management Plan)
Upon completion of preliminary engineering for the Federal Project and Transload
Facility in Tasks 1.1 and 1.2, the Grantee shall prepare a Project Management Plan
(PMP)refining the scope of the Federal Project and Transload Facility to reflect the
completion of preliminary engineering with an updated cost estimate and schedule. The
PMP shall address organization, roles and responsibilities,project controls, scope of
work, schedules, budgets,procurement,project delivery, risk management, quality,
safety, security, agreements, reporting requirements and procedures, and management
systems for both the Federal Project and Transload Facility.
Task 1.4: Preliminary Engineering(Stakeholder Agreement)
Concurrent with the preparation of preliminary engineering for the Federal Project and
Transload Facility in Tasks 1.1 and 1.2, the PMP in Task 1.3, and the environmental
review from Task 2.0 the Grantee shall prepare and execute a"Stakeholder Agreement"
with the private partner for the construction of the Transload Facility. The Grantee shall
provide FRA with a draft agreement for review and comment prior to execution of a final
agreement with the private partner. The Stakeholder Agreement shall reflect the binding
commitment of the private partner to construct and operate the Transload Facility within
one year following completion of the Federal Project, subject to necessary COE permit
approvals as defined in Section B.1. of this SOW.
Task 2.0: Environmental Review
FRA has determined that an EA is the appropriate class of action to comply with the
requirements established by NEPA and FRA's Procedures for Considering
Environmental Impacts (effective May 26, 1999) (Environmental Procedures). Because
the Federal Project and Transload Facility are interrelated for the delivery of anticipated
benefits under the Federal Project, the scope of the EA to be completed by the Grantee
will be inclusive of the Federal Project and Transload Facility. The Grantee will
complete the EA in consultation with qualified environmental professionals to determine
6
its impact, including conducting a review of existing literature, contacting relevant
agencies and performing field reconnaissance when necessary and will carry out an
appropriate public involvement process (consistent with normal NEPA practice) to be
developed in close coordination with FRA. The environmental review will address NEPA
and related requirements, including section 106 of the National Historic Preservation Act,
section 4(f) of the Department of Transportation Act, and the Clean Air Act.
The Grantee shall complete a Draft EA for the Federal Project and Transload Facility
accompanied by appropriate Project maps, environmental analyses, or other appropriate
documentation and submit it to FRA for review. Upon FRA review and comment, the
Grantee will complete any additional surveys, studies and documentation required to
support creation of a Final EA. The Grantee will prepare a cover letter and submit a
proposed Final EA, including all completed necessary studies, correspondence and
reports for FRA review and acceptance. Following FRA approval, the Grantee will
publish the EA for public and resource agency review and comment for a minimum thirty
day period. Following completion of the agency/public review process, the Grantee will
prepare a response to comment document addressing the substantive comments received
on the draft EA and make any appropriate revisions to the EA in light of the
public/agency comments received. Both documents should be submitted to FRA for
review and approval. Upon notification of FRA acceptance of the final EA, including the
response to comments document, the Grantee will prepare and submit to FRA a draft
FONSI for FRA's use in issuing the Final FONSI for the Federal Project and Transload
Facility, collectively.
In the course of completing Task 2, should the Grantee determine that any locations in
the Project area have, or include the probability to have, soil and/or groundwater
contamination, then the Grantee shall include provisions for any recommended
environmental avoidance/mitigation in the designs prepared in Task 3.
In order to comply with Special Condition 3 of this grant agreement,no construction
shall be initiated on the Federal Project or Transload Facility in advance of the FRA's
issuance of the FONSI.
Task 3.0: Final Design
The Grantee may proceed with Task 3 upon FRA release of the Special conditions 1
through 4 in Section B of this SOW. Specifically, the Grantee must complete the
following prerequisites prior to proceeding with this Task: preliminary engineering,
environmental review, a stakeholder agreement for the construction of the Transload
Facility, and a PMP with a refined scope, schedule, and budget based on the completion
of Tasks 1 and 2. The Grantee shall prepare the final design drawings for the Federal
Project in Task 3 in accordance with the preliminary engineering and environmental
review documents prepared in Tasks 1 and 2. If necessary, the Grantee shall prepare a
revision to the PMP for the Federal Project to reflect any changes to scope, schedule and
budget revised during final design.
7
The final design for the Federal Project will be a required deliverable in this SOW to
further define the railroad improvements at the Port that will be completed with the
Federal funds provided in the grant agreement. This deliverable will require FRA review
and approval.
Task 3.1: Final Design(Port Railroad Improvements, Federal Project)
The Grantee shall complete final design for the Federal Project, including at a minimum:
rail and roadbed cross section, track profile, turnouts, signal plans (if applicable), and
grade crossing design. The final design should also include an itemized list of materials,
quantified cost estimate and final Project schedule.
Task 4.0: Construction
Task 4.1: Construction(Port Railroad Improvements, Federal Project)
The Grantee may proceed with Task 4 upon FRA release of the Special Conditions 1
through 4 in Section B of this SOW. Specifically, the Grantee must complete the
following prerequisites prior to proceeding with this Task: final design and, as necessary,
a revised PMP with a refined scope, schedule, and budget based on the completion of
Task 3. The Project shall be constructed in accordance with the Task 2 and Task 3.
As previously described, the Federal Project includes the following components:
4.1a: Construction Management and Inspection
4.1b: Railroad Improvements
4.1c: Roadway Improvements
4.1 d: Utility Relocation and Construction
4.1e: Right-of-Way Acquisition
Task 4.2: Construction(Transload Facility)
As defined in the PMP and Stakeholder Agreements prepared in Task 1, the Grantee will
coordinate with the private partner for the construction of the Transload Facility to
supplement the railroad improvements completed in the Federal Project.
As previously described, the Transload Facility includes the following components:
4.2a: Construction Management and Inspection
4.2b: Transload Facility Railroad Installation
4.2c: Transload Facility Conveyor Installation
4.2d: River Port/Dock System
D. Deliverables
Delhcrablc Name Related Fslimaled
ask ('omplclion
Date
1.0 Preliminar En l ineerin Task 1.0
1.1 Prelimina En•ineerin• (Port Rail Im.rovements,Federal Pro ect) Task 1.1 8/15/2013
l.la 25%Prelimina En.ineerin• Plans
1.1b Pro'ect Schedule
1.1c Pro'ect Bud•et and Cost Estimate
8
1.2 Preliminary Engineering(Trans load Facility) Task 1.2 8/15/2013
1.2a 5-15%Conceptual Engineering Plans
1.2b Project Schedule
1.2c Project Budget and Cost Estimate
1.3 Preliminary Engineering(Project Management Plan) Task 1.3
1.3a Draft Project Management Plan 6/30/2013
L1.3b Final Project Management Plan 7/30/2013
1.4 Preliminary Engineering(Stakeholder Agreement) Task 1.4
1.4a Draft Stakeholder Agreement 6/30/2013
1.4b Executed Stakeholder Agreement 7/25/2013
2.0 Environmental Review(Federal Project and Trans load Facility) Task 2.0
2.0a Draft Environmental Assessment(EA) 7/15/2013
2.0b Final Environmental Assessment(EA) 9/01/2013
2.0c Draft Finding of No Significant Impact(FONSI) 9/01/2013
2.0d Final Finding of No Significant Impact(FONSI) 9/15/2013
3.0 Final Design Task 3.0
3.0.a Revised Project Schedule 11/21/2013
3.0.b Revised Budget and Cost Estimate 11/21/2013
3.0.c Revised Project Management Plan(if applicable) 11/21/2013
3.1 Final Design (Port Rail Improvements,Federal Project) Task 11
3.1a Final Design Plans-Draft for Comment 10/18/2013
3.1b Final Design Plans-Final for Construction 11/21/2013
4.0 Construction , Task 4.0
4.1 Construction(Port Rail Improvements,Federal Project) Task 4.1
4.1a Final Contract Documents(Contractor Proposal) 12/27/2013
4.1b Final Contract Documents(Construction Contract) 02/28/2014
4.1c Certificate of Substantial Completion or Letter of Acceptance 12/31/2014
4.2 Construction(Transload Facility) Task 4.2
4.2a Final Contract Documents(Contractor Proposal) 12/27/2013
4.2b Final Contract Documents(Construction Contract) 02/28/2014
4.2c Certificate of Substantial Completion or Letter of Acceptance 12/31/2015 ;
6. PROJECT SCHEDULE
A. Period of Performance
The period of performance for the Project, including both the Federal Project and
Transload Facility, shall be 36 months beginning March 1, 2013 and ending March 31,
2016.
B. Schedule of Work
The schedule for the Project, including both the Federal Project and Transload Facility,
dated April 5, 2011, is included in the supporting documents for this SOW. This
document is the basis for schedule updates referenced in this SOW and shall be
maintained and updated for FRA review and approval.
Esiimaied lNIirIlaletI
4 Task Name Start Date End Dale
1.1 Prelimina Entineerinl(Federal Pro'ect) Mar 1 2013 Au_ 31 2013
1.2 ; Preliminary Engineering(Transload Facility) Mar 1 2013 Aug 31 2013
9
1.3 Preliminary Engineering(Project Management Plan) Apr 1 2013 Aug 31 2013
1.4 Preliminary Engineering(Stakeholder Agreement) I Apr 1 2013 July 31 2013
2.0 Environmental Review(Federal Project and Trans load Facility) Mar 1 2013 Aug 31 2013
3.0 Final Design(Federal Project) Aug 1 2013 Dec 31 2013
4.1 Construction(Federal Project) Feb 1 2014 Dec 31 2014
4.2 Construction (Trans load Facility) Jan 1 2014 i Dec 31 2015
5.0 Administrative Reporting and Project Closeout Mar 1 2013 Mar 31 2016
7. PROJECT COORDINATION
Project Partners, aniUffWaf
City Government City of West Memphis Project Sponsor and Owner
State Government Arkansas Highway Commission Project Sponsor
Planning Organization West Memphis Planning Organization Project Sponsor
County Government Crittenden County Project Sponsor
8. PROJECT MANAGEMENT
As described in Task 1.3, the Grantee shall prepare a PMP for the Federal Project and
Transload Facility, collectively.
10
ATTACHMENT 3
APPROVED PROJECT BUDGET
The total estimated cost of the Federal Project is $10,953,244, for which the FY 2012 TIGER
grant will contribute 100.00% of the total cost. Any additional expense required beyond that
provided in this grant to complete the Project shall be borne by the Grantee or private
Stakeholder partners. The grant agreement does not provide Federal funding for the Transload
Facility. However, the FRA expects that the Grantee and private partner will fund and construct
the Transload Facility separate from, but in close coordination with, the Federal Project.
"Task lame Cost Estimate
Federal
Project
l Preliminary Engineering $ 536,927 E
2 Environmental Review $ 76,000
3 Final Design Note 1
4 Construction
4.1 Port Railroad Improvements(Federal Project)
4.1a Construction Management/Inspection c $ 1,342,274
4.1b Railroad Construction $ 5,508,371
} 4.1c Roadway Construction $ 1,061,831
4.1d Utility Relocation and Construction $ 912,456
4.1e Right of Way $ 1,350,000
4.2 i Transload Facility(non-Federal) Note 2
Construction Subtotal $10,174,932
Project Administration $ 165,385
Total Project Cost $10,953,244
Note 1: Costs for this item are included in Line Item No 1.
Note 2: All costs for the Transload facility will be committed and administered separately from the Federal
Project. As of the preparation of this SOW,the estimated cost for the Transload Facility is
approximately$40 million;however,the value of the Transload Facility is not specified or required to
complement the Federal Project.
ATTACHMENT 4
PERFORMANCE MEASUREMENT TABLE
Table 1: Performance Measurement Table
'Measure Description ul'Measure Measurement Period Reporting Period
Annual volume of domestic and
international bulk intermodal
Average Annual traffic at the Port,accounting for
Tons both import and export,and all
Handled/Day modes,truck,barge and rail:
estimate average annual tons
handled per day.
Annual volume of domestic and
Average Annual international bulk intermodal
Tons traffic exported at the Port,
Exported/Day- accounting for truck-to-barge and
Total rail-to-barge: estimate average
annual tons exported per day.
Avera e Annual Annual volume of domestic bulk
g intermodal traffic exported at the Pre-Project Measurement:
Tons Port,accounting for truck-to-barge Annual total for year before
Exported/Day and rail-to-barge: estimate average commencement of
Domestic annual tons exported per day. construction,January
Annual volume of international December(2014). Baseline:Reported
Average Annual bulk intermodal traffic exported at January-December of
Tons the Port,accounting for truck-to- year prior to completion
Exported/Day- barge and rail-to-barge: estimate of construction(2015).
International average annual tons exported per Baseline Measurement:
day. Annual total for year prior to
Annual volume of domestic and completion of construction,
Average Annual international bulk intermodal January December(2015). Annual:Reported
Tons traffic imported at the Port, January-December of
imported/Day- accounting for truck-to-barge and year post construction,
Total rail-to-barge: estimate average for a period of three
annual tons imported per day. Performance Measurement: years(2016,2017,2018)
Annual volume of domestic bulk Annual total for year post
Average Annual intermodal traffic imported at the construction,for a period of
Tons Port,accounting for truck-to-barge three years,January-December
imported/Day and rail-to-barge: estimate average (2016,2017,2018).
Domestic annual tons imported per day.
Annual volume of international
Average Annual bulk intermodal traffic imported at
Tons the Port,accounting for truck-to-
imported/Day- barge and rail-to-barge: estimate
International average annual tons imported per
day.
Annual Net annual municipal revenue
Municipal generated from Port: register of
Revenue revenue after outlays.
Number of personnel employeed at
Employment the Port and Transload Facility:
total number of employees.
1
2
ATTACHMENT 5
TIGER III GRANT
ASSURANCES AND CERTIFICATIONS
TITLE VI ASSURANCE
(Implementing Title VI of the Civil Rights Act of 1964, as amended)
ASSURANCE CONCERNING NONDISCRIMINATION IN FEDERALLY-ASSISTED
PROGRAMS AND ACTIVITIES RECEIVING OR BENEFITING FROM FEDERAL
FINANCIAL ASSISTANCE
(Implementing the Rehabilitation Act of 1973, as amended, and the Americans With Disabilities
Act, as amended)
49 C.F.R. Parts 21, 25, 27, 37 and 38
By signing and submitting the Technical Application and by entering into the Agreement under
the TIGER III Discretionary Grant program, the Grantee hereby agrees that:
1. As a condition to receiving any Federal financial assistance from the U.S. Department of
Transportation, Grantee will comply with: Title VI of the Civil Rights Act of 1964, as
amended, 42 U.S.C. 2000d--42 U.S.C. 2000d-4; all requirements imposed by or pursuant to:
Title 49, Code of Federal Regulations, Part 21, Nondiscrimination in Federally-Assisted
Programs of the Department of Transportation--Effectuation of Title VI of the Civil Rights
Act of 1964; and other pertinent directives so that no person in the United States shall, on the
grounds of race, color, national origin, be excluded from participation in,be denied the
benefits of, or be otherwise subjected to discrimination under any program or activity for
which the Grantee receives Federal financial assistance from the Depai talent of
Transportation. This assurance is required by Title 49, Code of Federal Regulations, Section
21.7(a).
2. As a condition to receiving any Federal financial assistance from the U.S. Department of
Transportation, Grantee will comply with: Title IX of the Education Amendments of 1972, as
amended, 20 U.S.C. 1681 through 1683, and 1685 through 1687, and U.S. DOT regulations,
"Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving
Federal Financial Assistance,"49 C.F.R. part 25, which prohibit discrimination on the basis
of sex.As a condition to receiving any Federal financial assistance from the U.S. Department
of Transportation, it will comply with: the Age Discrimination Act of 1975, as amended(42
U.S.C. 6101 et seq.), the Drug Abuse Office and Treatment Act of 1972, as amended (21
U.S.C. 1101 et seq.), the Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970, as amended(42 U.S.C. 4541 et seq.); and any
other nondiscrimination provisions in the specific statute(s)under which application for
Federal assistance was made; and the requirements of any other nondiscrimination statute(s)
which may apply to the Grantee.
3. As a condition to receiving any Federal financial assistance from the Department of
Transportation, it will comply with: section 504 of the Rehabilitation Act of 1973, as
amended, (29 U.S.C. 794); and all requirements imposed by or pursuant to Title 49, Code of
Federal Regulations, Part 27, Nondiscrimination on the Basis of Handicap in Programs and
Activities Receiving or Benefiting from Federal Financial Assistance; and Part 37,
Transportation Services for Individuals With Disabilities; and Part 38, Americans With
Disabilities Act—Accessibility Specifications for Transportation Vehicles; and other
pertinent directives so that no otherwise qualified person with a disability, be excluded from
participation in,be denied the benefits of,be discriminated against by reason of such
handicap, or otherwise be subjected to discrimination under any program for which the
Grantee receives Federal financial assistance from the Department of Transportation. This
assurance is required by Title 49, Code of Federal Regulations, Section 27.9.
4. The Grantee will promptly take any measures necessary to effectuate this Agreement. The
Grantee further agrees that it shall take reasonable actions to guarantee that it, its contractors
and subcontractors subject to the Department of Transportation regulations cited above,
transferees, and successors in interest will comply with all requirements imposed or pursuant
to the statutes and Department of Transportation regulations cited above, other pertinent
directives, and the above assurances.
5. These assurances obligate the Grantee for the period during which Federal financial.
assistance is extended. The Grantee agrees that the United States has a right to seek judicial
enforcement with regard to any matter arising under the statutes and Department of
Transportation regulations cited above, other pertinent directives, and the above assurances.
6. These assurances are given for the purpose of obtaining Federal grant assistance under the
TIGER III Discretionary Grant Program and are binding on the Grantee, contractors,
subcontractors,transferees, successors in interest, and all other participants receiving Federal
grant assistance in the TIGER III Discretionary Grant Program. The person or persons
whose signatures appear below are authorized to sign this Agreement on behalf of the
Grantee.
7. In addition to these assurances, the Grantee agrees to file: a summary of all complaints filed
against it within the past year that allege violation(s) by the Recipient of Title VI of the Civil
Rights Act of 1964, as amended, section 504 of the Rehabilitation Act of 1973, as amended;
or a statement that there have been no complaints filed against it. The summary should
include the date the complaint was filed, the nature of the complaint, the status or outcome of
the complaint(i.e., whether it is still pending or how it was resolved).
2
DISCLOSURE OF LOBBYING ACTIVITIES
By signing and submitting the Technical Application and by entering into the Agreement under
the TIGER III Discretionary Grant program the Grantee hereby agrees that:
1. No Federal appropriated funds have been paid or will be paid,bvor on behalf of the
undersigned, to any person for influencing or attempting toioOuenocaooffioeror
employee of any agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding of any Federal
contract,the making of any Federal grant, the making of any Federal loan, the entering
into of any grant agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or grant agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or grant agreement, the
undersigned shall complete and submit Standard Forni-LLL(Rev. 7-97), "Disclosure of
Lobbying Activities," in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans and grant agreements) and that all subgrantces shall certify
and disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
3
CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS IN
THE PERFORMANCE OF THE TIGER III DISCRETIONARY GRANT PROGRAM
The Grantee certifies that it will, or will continue, to provide a drug-free workplace by:
1. Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession or use of a controlled substance is prohibited in the Grantee's
workplace, and specifying the actions that will be taken against employees for violation of
such prohibition.
2. Establishing an ongoing drug-free awareness program to inform employees about:
(a) The dangers of drug abuse in the workplace;
(b) The Grantee's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs;
and,
(d) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
3. Making it a requirement that each employee to be engaged in the performance of work
supported by the grant award be given a copy of the statement required by paragraph 1.
4. Notifying the employee in the statement required by paragraph 1 that, as a condition of
employment supported by the grant award, the employee will:
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a criminal
drug statute occurring in the workplace no later than five calendar days after such
conviction.
5. Notifying the agency in writing, within ten calendar days after receiving notice from an
employee or otherwise receiving actual notice of conviction. Employers of convicted
employees must provide notice, including position title,to the Department. Notice shall
include the order number of the grant award.
6. Taking one of the following actions, within 30 days of receiving notice under paragraph 4(b),
with respect to any employee who is so convicted:
4
(a) Taking appropriate personnel action against such an employee,up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended, or
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State or local health, law
enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of the commitments made in this certification.
8. The Grantee may,but is not required to, provide the site for the performance of work done in
connection with the specific grant. For the provision of services pursuant to the Agreement,
workplaces include outstations, maintenance sites, headquarters office locations, training
sites and any other worksites where work is performed that is supported by the grant award.
5
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,AND OTHER
RESPONSIBILITY MATTERS —PRIMARY COVERED TRANSACTIONS
2 C.F.R. Part 1200, 49 C.F.R. Part 32
By signing and submitting the Technical Application and by entering into the Agreement under
the TIGER III Discretionary Grant program, the Grantee is providing the assurance and
certification set out below.
1. The inability of a person to provide the certification required below will not necessarily result
in denial of participation in this covered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out below. The certification or
explanation will be considered in connection with the department or agency's determination
whether to enter into this transaction. However, failure of the prospective primary participant to
furnish a certification or an explanation shall disqualify such person from participation in this
transaction.
2. The certification in this clause is a material representation of fact upon which reliance was
placed when the department or agency determined to enter into this transaction. If it is later
determined that the prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal Government, the department
or agency may terminate this transaction for cause or default.
3. The prospective primary participant shall provide immediate written notice to the department
or agency to which this proposal is submitted if at any time the prospective primary participant
learns that its certification was erroneous when submitted or has become erroneous by reason of
changed circumstances.
4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction,
participant,person,primary covered transaction, principal,proposal, and voluntarily excluded, as
used in this clause,have the meanings set out in the Definitions and Coverage sections of the
rules implementing Executive Order 12549. See Nonprocurement Suspension and Debarment(2
C.F.R. Part 1200) and Government wide Requirements for Drug-Free Workplace Grants(49
C.F.R. Part 32). The prospective primary participant agrees by submitting this proposal that,
should the proposed covered transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for debarment under 48 C.F.R. part
9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency entering
into this transaction.
5. The prospective primary participant further agrees by submitting this proposal that it will
include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-- Lower Tier Covered Transaction," provided by the department or agency
entering into this covered transaction, without modification, in all lower tier covered transactions
and in all solicitations for lower tier covered transactions.
6
6. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not proposed for debarment under 48
C.F.R. part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is erroneous. A participant may decide
the method and frequency by which it determines the eligibility of its principals. Each participant
may,but is not required to, check the List of Parties Excluded from Federal Procurement and
Non-procurement Programs.
7. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 C.F.R. part 9, subpart 9.4, suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to other remedies available
to the Federal Government, the department or agency may terminate this transaction for cause or
default.
Certification Regarding Debarment, Suspension, and Other Responsibility Matters --Primary
Covered Transactions
1. The prospective primary participant certifies to the best of its knowledge and belief, that it
and its principals:
(a)Are not presently debarred, suspended,proposed for debarment, declared ineligible,
or voluntarily excluded by any Federal department or agency;
(b)Have not within a three-year period preceding this proposal been convicted of or had
a civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal, State or local)
transaction or contract under a public transaction; violation of Federal or State antitrust statutes
or commission of embezzlement, theft, forgery,bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c)Are not presently indicted for or otherwise criminally or civilly charged by a
governmental entity(Federal, State or local) with commission of any of the offenses enumerated
in paragraph (1)(b) of this certification; and
(d)Have not within a three-year period preceding this application/proposal had one or
more public transactions (Federal, State or local) terminated for cause or default.
2. Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
7
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -- Lower
Tier Covered Transactions
By signing and submitting the Technical Application and by entering into the Agreement under
the TIGER III Discretionary Grant program, the Grantee is providing the assurance and
certification set out below.
1. The certification in this clause is a material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in addition to other remedies
available to the Federal Government the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or debarment.
2. The prospective lower tier participant shall provide immediate written notice to the person to
whom this proposal is submitted if at any time the prospective lower tier participant learns that
its certification was erroneous when submitted or had become erroneous by reason of changed
circumstances.
3. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction,
participant, person, primary covered transaction, principal,proposal, and voluntarily excluded, as
used in this clause, have the meaning set out in the Definitions and Coverage sections of rules
implementing Executive Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
4. The prospective lower tier participant agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is proposed for debarment under 48 C.F.R. part 9, subpart
9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this
covered transaction, unless authorized by the department or agency with which this transaction
originated.
5. The prospective lower tier participant further agrees by submitting this proposal that it will
include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-- Lower Tier Covered Transaction," without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
6. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not proposed for debarment under 48
C.F.R. part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered
transactions,unless it knows that the certification is erroneous. A participant may decide the
method and frequency by which it determines the eligibility of its principals. Each participant
may, but is not required to, check the List of Parties Excluded from Federal Procurement and
Non-procurement Programs.
8
7. Nothing contained in the foregoing shall be construed to require establishment of a system of
records in order to render in good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that which is normally possessed by a
prudent person in the ordinary course of business dealings.
8. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a
covered transaction knowingly enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 C.F.R. part 9, subpart 9.4, suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to other remedies available
to the Federal Government, the department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility an Voluntary Exclusion -- Lower
Tier Covered Transactions
By signing and submitting the Technical Application and by entering into the Agreement under
the TIGER III Discretionary Grant program, the Grantee is providing the assurance and
certification set out below.
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it
nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible,
or voluntarily excluded from participation in this transaction by any Federal department or
agency.
2. Where the prospective lower tier participant is unable to certify to any of the statements in
this certification, such prospective participant shall attach an explanation to this proposal.
9